Provide testing and validation support to the CB & PVSI compliance program through leading compliance reviews, identification and reporting of issues, and validation of corrective actions to ensure regulatory compliance.

Designed, developed, and executed control testing strategies, methodologies and analyses; evaluating the adequacy and effectiveness of policies, procedures, processes, systems and internal controls.

Lead cross-functional initiatives encompassing end-to-end analysis and future state design including establishing and identifying business requirements, priorities, and deadlines. Identify risks and opportunities associated with new or redesign business/system processes and ensure alignment with business needs and strategic plans.

SELECTED ACCOMPLISHMENTS:• Designated project leader and managed all activities in a project life-cycle (initiation, planning, execution, controlling, and closing) for multiple department projects.• Conducted ongoing weekly meetings with management and project team members to present project status, challenges and recommendations. • Successfully completed delivery of upgrading an existing corporate action database to efficiently handle increased client accounts and tracking volume.• Effectively partnered with project stakeholders to gather requirements, create project proposals, implement project plan and direct project tasks, issues, progress and accomplishments. • Supported project managers and technology teams on decommission efforts for an in-house data warehouse system and ongoing business process change and improvement initiatives. • Played an integral role in the integration of an in-house system, CASA, with another investment platform system, which included data definition mapping, testing, post-deployment training and implementation.• Developed and implemented several processes that served as foundation for department, including centralized data storage/sharing, standardized procedural and streamlined manual spreadsheets.• Implemented and achieved faster external data feeds into CASA, streamlining asset setup process, providing increased efficiency by 80% and reduced significant overhead cost.• Independently mastered the design of MS Access databases. Initiated the design of a new corporate action database that eliminated manual corporate action processing and tracking.

SELECTED ACCOMPLISHMENTS:• Completed fully encompassing client account reconciliations and investigation of issues. Number of monthly client accounts reconciled ranged from 180-200 accounts across multiple portfolio managers.• Took the lead on accurate daily setup and pricing of investment assets, particularly fixed income and derivatives, by working closely with investment teams, pricing vendors, custodians and brokers.• Partnered with technology to enhance and develop in-house system, CASA, from its infant stage to a robust system supporting over 20,000 held assets and 2,200+ client accounts. • Gained proficiency with SQL queries. Became lead for all query needs requiring CASA data for downstream systems and business analysis.